Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daphne? Claim Your ProfileDaphne Caperton is a financial advisor with B. Riley Wealth Advisors, Inc. Daphne has been in the financial industry since 1997. Daphne has worked with a number of firms over the years, including National Securities Corporation, Winslow, Evans & Crocker, Inc., and H.C. Wainwright & Co., Inc. Daphne is registered to provide investment advice in several states, including Massachusetts, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Kentucky, Maine, Maryland, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Vermont, Virginia, Washington, and Wisconsin. Daphne is also a trustee of the Beacon on the Charles Condominium Association.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MA
03/24/2021 - Present
B. Riley Wealth Advisors, Inc. (BOSTON MA)
MA
03/20/2021 - 07/22/2022
NATIONAL SECURITIES CORPORATION (BOSTON MA)
MA
10/29/2002 - 03/24/2021
WINSLOW, EVANS & CROCKER, INC. (BOSTON MA)
NY
06/05/1997 - 10/29/2002
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
BOTH
Issued 07/23/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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